AML Compliance Manager - Brokerage
The Anti-Money Laundering (AML) Compliance Manager supports various Capital One Broker-Dealer subsidiaries detecting unusual or suspicious activity in a timely manner in an effort to safeguard the integrity of the brokerage firms and ensure compliance with Bank Secrecy Act /AML regulations.
The qualified candidate will manage various Anti-Money Laundering (AML) Operations processes which would include alert monitoring, suspicious activity investigations, reporting, customer due diligence and enhanced due diligence. Responsible for ensuring adherence to department Policies and Standards, advising investigators, managing workflow, delivering a high quality work product and general people management for Capital One. The candidate will also be responsible for planning and conducting processes related to AML as well as managing the workflow of the AML analysis. The qualified candidate will coach their team and teach others about AML processes through training and education.
- Lead daily investigation workflow, controls and results metrics for the team
- Set clear goals/objectives and motivate teams to achieve superior results
- Assess internal trends, external regulatory & law enforcement environment to make recommendations, understand risk areas and alter or add to current processes
- Participate in regulatory exams and internal audits focused on the AML operational process. Respond to and coordinate with Law Enforcement contacts
- Oversee complex financial investigations, trading surveillance, or other AML Processes
- Manage a team of investigators who will perform enhanced due diligence reviews and an individual customer's BSA-AML risks.
- Manage the rollout of BSA-AML risk management tools and methodologies. Responsible for developing the overall brokerage AML suspicious activity monitoring plan, overseeing the execution of the plan and providing regular status reporting to executives with AML-BSA accountabilities
- Work in conjunction with other functional areas of Capital One Bank to ensure the enterprise level BSA-AML objectives are being met.
- Bachelor’s Degree or Military Experience
- Proficient in Microsoft Office
- At least 3 years of experience in AML, or 3 years experience in Fraud, or 3 years experience in investigations
- Proficiency in Microsoft Office
- 5 years of Securities Broker-Dealer industry experience
- 5 years of experience in AML, or 5 years experience in Fraud, or 5 years experience in investigations
- FINRA Series 7
- FINRA Series 24
- Certified Anti-Money Laundering Specialist (CAMS)
- Master's Degree
At this time, Capital One will not sponsor a new applicant for employment authorization for this position